FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.
Adviser information for FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. last updated from Form ADV on February 6th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 208 | $33.9M |
| Non-Discretionary | 8 | $3.1M |
| Total | 216 | $37.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 118 | $9.9M |
| HNW Individuals | 97 | $27.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 1 | $49,751 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-62315 |
|---|---|
| SEC ERA File Number | 801-62315 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128040 |
| Legal Entity Identifier | None |
Principal Office
11422 MIRACLE HILLS DRIVESUITE 501
OMAHA
NE
United States
Monday - Friday, 8:00 A.M.- 5:00 P.M. M-F
Tel: 402-445-9333, Fax: 402-445-0526
Chief Compliance Officer
STEVE LOCOCO
PRESIDENT
11422 MIRACLE HILLS DRIVE
SUITE 501
OMAHA
NE
United States
Tel:
402-445-9333
Fax:
402-445-0526
S******@*******M
(Full email address available in API data)
Regulatory Contact
ELISA LOCOCO
COMPLIANCE ASSOCIATE
11422 MIRACLE HILLS DRIVE
SUITE 501
OMAHA
NE
United States
Tel:
402-445-9333
E******@*******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOCOCO, STEPHEN, JOSEPH | Individual | – | PRESIDENT/PORTFOLIO MANAGER/CCO | 07/2003 | > 75% |